FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, brokerage firms and individual brokers.

FINRA Dispute Resolution

Overview of Arbitration & Mediation | Options for Investors | Additional Resources | More on FINRA Dispute Resolution

Arbitration

Arbitration Overview | Arbitration Process | Rules | Fees | Special Procedures

Arbitrators

Become an Arbitrator | Responsibilities | Case Guidance & Resources | Administrative Resources | Arbitrator Training

Mediation

Mediation Overview | Mediation Process | Mediation Rules | Mediation Fees

Mediators

Become a Mediator | Case Resources | Administrative Resources | Responsibilities

What's New

Regulatory Notice

Arbitration of Whistleblower Disputes

Statistics

Dispute Resolution Statistics – March 2012

Regulatory Notice

FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration

Rule Filing

FINRA Proposes to Raise the Limit for Simplified Arbitration

Rule Filing

FINRA Proposes to Amend the Mediation Code to Provide the Mediation Director with Discretion to Determine Whether Parties May Select a Mediator Who Is Not on FINRA’s Mediator Roster

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Arbitration Process

• File a Claim
• Answer a Claim
• Arbitrator Selection
• Prehearing Conferences
• Discovery
• Hearings
• Decision & Awards

More Resources

• Dispute Resolution Statistics
• Frequently Asked Questions
• Glossary of Arbitration Terms
• Publicaciones en Español
• Dispute Resolution News Releases
• Investor Complaint Center
• Office of the Whistleblower

Most Viewed

• Arbitration Awards Online
• Code of Arbitration Procedure
• Arbitration Online Claim Filing
• Office and Hearing Locations
• Discovery Guide
• Basic Arbitrator Training
• Dispute Resolution Statistics
• Estimate Arbitration Costs
• Decision & Awards
• The Neutral Corner
• Customer and Industry Code Deadlines
• Discovery